Mar 19, 2013 4:13pm

The Blotter Report: It’s a Greedy, Greedy Game

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May 28, 2015

FINRA Checking Up on Advisors' Lifestyles

If your paycheck is wildly out of whack with your lifestyle, your firm’s compliance department and regulators may come knocking....More
May 28, 2015

Next Regulators Will Be Asking to See Text Messages

Examiners regularly ask to see email and website records, but that's about to change. Smarsh's CEO predicts in just a few years, reviews of text....More
May 21, 2015

Casady: Better DOL Rule Needs Only 'A Couple' Of Improvements

The head of LPL Financial praised the Department of Labor’s changes in its re-proposed fiduciary rule aimed at financial advisors, saying “just a....More
May 15, 2015

The Blotter Report: Fraudsters Sidelined

A former Utah broker is in trouble...again, while trial continues against a former advisor and his wingman accused of bilking NHL players out of....More
May 06, 2015

AdvisorHUB Founder Admits Tax Fraud

Head of AdvisorHUB, a popular website featuring recruitment deal information and industry rumors, recently pled guilty to tax fraud....More
Apr 14, 2015

Bad, Bad Leroy Brown

Leroy Brown Jr. is facing fraud charges after he fraudulently portrayed himself as a stockbroker and used his military background to bilk investors....More
Mar 30, 2015

SEC Charges Lynn Tilton with Fraud

The Securities and Exchange Commission charged Lynn Tilton and her Patriarch Partners firm with fraud on Monday, claiming the Bronx-born business....More
Mar 24, 2015

SEC Chair Supports Outside Examiners For RIAs

SEC Chair Mary Jo White told a congressional committee Tuesday she supported the idea of third-party examiners for RIAs to supplement, but not....More
Mar 16, 2015

SIFMA Attacks White House Conflicted Advice Research2

The Securities Industry and Financial Markets Association on Monday blasted research produced by the White House in its recent efforts to push....More
Mar 12, 2015

FINRA Sanctions N.Y. Firm, Bans Exec

The Financial Industry Regulatory Authority issued $1.5 million in sanctions against Brookville Capital Partners on Thursday and barred the firm....More
Mar 09, 2015

The True Cost of Fraud1

When investors are hit with fraud, it’s not just their wallets that hurt, (although about 9 percent do declare bankruptcy as a result)....More
Feb 25, 2015

Republican Revives Bill to Block DOL Fiduciary Rule

Congresswoman Ann Wagner (R-Mo.) pushed back against President Barack Obama and the Department of Labor’s proposed fiduciary rulemaking,....More
Feb 04, 2015

Collaboration, Information-Sharing Key to Cybersecurity

Cybersecurity must be a collaborative effort between the industry, regulators and policymakers, the president and CEO of the SIFMA said Wednesday....More
Jan 27, 2015

Congress Could Close Tax Loopholes to Raise Money

Advisors need to keep an eye on potential tax loophole closures as the year goes forward, particularly as the government faces funding legislation....More
Jan 26, 2015

Advisors Need to Engage Washington to Change Perception of Wall Street

Advisors are going to have to play the long game if they want to change the way broker/dealers are lumped together with Wall Street....More
What's Rulebook?

Compliance, regulatory and legal issues, with a fair amount of cops and robbers for fun.

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